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AH

Andrew R. Hicks

BOK FINANCIAL PRIVATE WEALTH
Denver, CO 80202
Some features on this profile are disabled
CRD#: 5752462
AH

Professional summary

Andrew Robert Hicks, who also goes by Andrew Hicks, is a registered financial advisor currently at BOK FINANCIAL PRIVATE WEALTH, INC. located in Denver, Colorado.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Andrew has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrew Hicks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Robert Hicks's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 18, 2016 - Present

BOK FINANCIAL PRIVATE WEALTH, INC.

Office #1: 370 17th St, Ste. 3100, Denver, CO 80202Office #2: 5601 Granite Parkway 13th Floor, Plano, TX 75024
RIA
CRD#: 106733
Denver, CO
Past

October 28, 2015 - September 5, 2018

BOK FINANCIAL SECURITIES, INC.

RIA
CRD#: 17530
PLANO, TX
Past

October 28, 2015 - September 5, 2018

BOK FINANCIAL SECURITIES, INC.

BD
CRD#: 17530
PLANO, TX
Past

January 16, 2014 - October 8, 2015

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
DALLAS, TX
Past

February 18, 2010 - January 13, 2014

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
DALLAS, TX
Past

February 8, 2010 - January 13, 2014

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BF
BOK FINANCIAL PRIVATE WEALTH, INC.
BOK FINANCIAL PRIVATE WEALTH, INC. | THE MILESTONE GROUP, INC. | MILESTONE WEALTH MANAGEMENT | MILESTONE INVESTMENT MANAGEMENT AND RESEARCH | MILESTONE GROUP INC | MILESTONE CAPITAL PARTNERS | MILESTONE CAPITAL MANAGEMENT | MILESTONE ASSET MANAGEMENT | COBIZ WEALTH

CRD#: 106733 / SEC#: 801-51401

RIA
Registered Investment Advisory firm - (3/6/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Arizona
(12/19/2023)
IAR
California
(7/25/2018)
IAR
Colorado
(11/18/2016)
IAR
Florida
(2/3/2020)
IAR
Oklahoma
(8/4/2023)
IAR
Texas
(11/18/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/17/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/8/2013
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/2010
General Securities Representative Examination

Current Firm

BF
BOK FINANCIAL PRIVATE WEALTH, INC.
BOK FINANCIAL PRIVATE WEALTH, INC. | THE MILESTONE GROUP, INC. | MILESTONE WEALTH MANAGEMENT | MILESTONE INVESTMENT MANAGEMENT AND RESEARCH | MILESTONE GROUP INC | MILESTONE CAPITAL PARTNERS | MILESTONE CAPITAL MANAGEMENT | MILESTONE ASSET MANAGEMENT | COBIZ WEALTH

CRD#: 106733 / SEC#: 801-51401

RIA
Registered Investment Advisory firm - (3/6/1996 Approved)
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Contact information

Main Address
1600 Broadway 4th Floor, Denver, CO 80202
Mailing Address
Phone number
(303) 539-0100
Established
Firm type
Fiscal year end
# of Employees
33

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BOK FINANCIAL PRIVATE WEALTH, INC., FORM ADV PART 2A JUNE 2025 (6/17/2025)

Regulatory assets under management

Total Number of Accounts2,179
AUM (Assets Under Management)$ 3,185,223,176

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/28/2025
Cover Page
Report
12/18/2024
Cover Page
Report
08/25/2023
Cover Page
Report
09/26/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BOK FINANCIAL PRIVATE WEALTH, INC.

CRD#: 106733Denver, CO 80202

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